DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
E••• F••••••••• L••
Latest filing Mar 2, 2026
First filing on the tape May 16, 2022 · 13 filings
SEC status approved since Jun 16, 2022
RAUM
$191M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$165M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$47.8M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$191M as of Mar 2, 2026
Mar 16, 2023$111M then
HNW client RAUM$130M as of Mar 2, 2026
Mar 16, 2023$65.7M then
State-registered IARs (5.B.3)5 as of Mar 2, 2026
Mar 16, 20234 then
Employees (5.A)5 as of Mar 2, 2026
Mar 16, 20235 then
Private funds: no history
RAUM +31% over the last fiscal year+20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $47.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $563,895derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +35%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminars, otherreportedItem 5.G
- Custody
- $20.5M, 35 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$130M68%
- Individuals$35.2M18%
- Pension and profit-sharing plans$13.1M6.8%
- Corporations and businesses$12.5M6.5%
- Charitable organizations$644,0880.3%
- Individual clients
- 153reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 339reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.5M for 35 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• G••••• F•••••• | Independence, Oh | Nov 17, 2021 | 24 y | 3 |
| J••••• R••• C•••Chartered Financial Consultant | Independence, Oh | Nov 17, 2021 | 28 y | 0 |
| L•••• A•• C•••••Chartered Financial Consultant | Independence, Oh | Nov 17, 2021 | 48 y | 0 |
| D••• M• G•••Chartered Financial Consultant | Independence, Oh | Jul 17, 2026 | 17 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 25% of current headcount2 left over 36 months
Left, latest
- M•••••• G•••• R•••••• to T•• W••••• P•••••••Apr 3, 2026 · RIA to RIA
- C•••••••• W••••••• M••••• to A••••••••• L•••Dec 24, 2024 · Other
Joined, latest
- D••• M• G••• from G••••• R•••••• R••••••••• L••Jul 17, 2026 · RIA to RIA
- M•••••• G•••• R•••••• from M• H••••••• S••••••••• I•••Feb 28, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••• G••••• F•••••• from G•• S••••••••• I•••Nov 17, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• L••••• A•• · Principalcontrolsince 08/2014 · owns 25% to 50%
- C•••• J•••••• R••• · Presidentcontrolsince 08/2014 · owns 25% to 50%
- F••••••• S••••• G••••• · Senior Investment Consultantcontrolsince 08/2014 · owns 5% to 10%
- M•••••• C••••••••• W••••••• · Principalcontrolsince 01/2022 · owns less than 5%
- R•••• K••••••••• E• · Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
Related persons
Schedule D 7.A
- E••• I••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Independence, Oh · principal | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 271 to 339Mar 20, 2025 to Mar 2, 2026
- Advisory employees · 5 to 4Mar 20, 2025 to Mar 2, 2026
- HNW clients · 33 to 45Mar 20, 2025 to Mar 2, 2026
- Individual clients · 114 to 153Mar 20, 2025 to Mar 2, 2026
- Pension plan clients · 5.0 to unsetMar 20, 2025 to Mar 2, 2026
- Assets in custody · $27.2M to $20.5MMar 20, 2025 to Mar 2, 2026
- Employees · 6 to 5Mar 20, 2025 to Mar 2, 2026
- Discretionary RAUM · $146M to $191MMar 20, 2025 to Mar 2, 2026
- HNW RAUM · $99.3M to $130MMar 20, 2025 to Mar 2, 2026
- Individual RAUM · $24.5M to $35.2MMar 20, 2025 to Mar 2, 2026
- Pension RAUM · $13.2M to $13.1MMar 20, 2025 to Mar 2, 2026
- RAUM · $146M to $191MMar 20, 2025 to Mar 2, 2026
- Accounts · 234 to 271Dec 24, 2024 to Mar 20, 2025
- Advisory employees · 4 to 5Dec 24, 2024 to Mar 20, 2025
- BD registered reps · 6 to 5Dec 24, 2024 to Mar 20, 2025
- Assets in custody · $24.1M to $27.2MDec 24, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 1-10Dec 24, 2024 to Mar 20, 2025
- State-registered IARs · 4 to 5Dec 24, 2024 to Mar 20, 2025
- Discretionary RAUM · $130M to $146MDec 24, 2024 to Mar 20, 2025
- HNW RAUM · $92.8M to $99.3MDec 24, 2024 to Mar 20, 2025
- Individual RAUM · $18.9M to $24.5MDec 24, 2024 to Mar 20, 2025
- Pension RAUM · $11.7M to $13.2MDec 24, 2024 to Mar 20, 2025
- RAUM · $130M to $146MDec 24, 2024 to Mar 20, 2025
- Advisory employees · 5 to 4Apr 1, 2024 to Dec 24, 2024
- Employees · 7 to 6Apr 1, 2024 to Dec 24, 2024
- State-registered IARs · 5 to 4Apr 1, 2024 to Dec 24, 2024
- Accounts · 180 to 234Nov 13, 2023 to Mar 22, 2024
- Advisory employees · 4 to 5Nov 13, 2023 to Mar 22, 2024
- Advisory activities · 5 to 6Nov 13, 2023 to Mar 22, 2024
- BD registered reps · 5 to 6Nov 13, 2023 to Mar 22, 2024
- HNW clients · 21 to 33Nov 13, 2023 to Mar 22, 2024
- Individual clients · 62 to 114Nov 13, 2023 to Mar 22, 2024
- Pension plan clients · 7 to 5Nov 13, 2023 to Mar 22, 2024
- Assets in custody · unset to 24130701.0Nov 13, 2023 to Mar 22, 2024
- Custody of client assets · false to trueNov 13, 2023 to Mar 22, 2024
- Employees · 5 to 7Nov 13, 2023 to Mar 22, 2024
- State-registered IARs · 4 to 5Nov 13, 2023 to Mar 22, 2024
- Discretionary RAUM · $111M to $130MNov 13, 2023 to Mar 22, 2024
- HNW RAUM · $65.7M to $92.8MNov 13, 2023 to Mar 22, 2024
- Individual RAUM · $15.6M to $18.9MNov 13, 2023 to Mar 22, 2024
Signals
3 dated events
- M•••••• G•••• R•••••• left E••• F••••••••• L•• for T•• W••••• P••••••• (registered 2026-05-11)Apr 3, 2026 · Advisor changed firm · fact
- C•••••••• W••••••• M••••• left E••• F••••••••• L•• for A••••••••• L••• (registered 2025-01-14)Dec 24, 2024 · Advisor changed firm · fact
- E••• F••••••••• L•• filed its initial SEC registration (Form ADV)May 16, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@enzafinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 216-236-0700reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 216-264-8077reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/enzafinancial/mycompanyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- enzafinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 216-236-0700reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- enzafinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- enzafinancial.com/who-we-arereportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $47.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026